| United Nations Development Programme

Step

Staff member is assigned to a duty station with a hardship classification B to E.

Responsible Party

BES/JPOSC HR Focal point

Template/Guideline

Explanatory Notes

Hardship Allowance is paid automatically through payroll based on the hardship classification of the duty station. The hardship classifications are published by ICSC and the classification is maintained in Quantum by GSSC.

Step

Monitoring of 5 years of uninterrupted service with UNDP

Responsible Party

BES/JPOSC HR Focal point

Template/Guideline

Explanatory Notes

5 years of uninterrupted service is counted as of the last entry on duty (EOD) with UNDP (hire/rehire) unless staff member has joined UNDP on transfer, secondment or loan from another agency.

Step

Activate Mobility Incentive in Quantum for the assignment

Responsible Party

BES/JPOSC HR Focal point

Template/Guideline

Explanatory Notes

Step

Payment

Responsible Party

BES/JPOSC HR Focal point

Template/Guideline

Explanatory Notes

Payment is automated and paid monthly through payroll.
The mobility incentive assignment count and start date is included on the Personnel Action form.Entitlement to the incentive ends upon 5 years in a duty station regardless of when the entitlement started to be accrued.
The mobility incentive is activated per assignment in Quantum.

Step

Monitor and end entitlement to Mobility Incentive on the date of 5 years in duty station.

Responsible Party

BES/JPOSC HR Focal point

Template/Guideline

Explanatory Notes

Entitlement to the incentive ends upon 5 years in a duty station regardless of when the entitlement started to be accrued.

Step

Reinstate mobility upon reassignment to a new duty station

Responsible Party

BES/JPOSC HR Focal point

Template/Guideline

Explanatory Notes

Step

Submit the request for approval.

Responsible Party

CO Procurement

Template/Guideline

Pre-Award Negotiations Strategy

Explanatory Notes

Negotiations on procurement actions below the CAP threshold shall be initiated after authorization by the Head of Business Unit or personnel delegated with Procurement Authority.

Negotiations on procurement actions above the CAP threshold shall be initiated after authorization by the Procurement Authority (Head of BU or RCPO or CPO), based on the recommendation of the appropriate Procurement Review Committee (CAP, RACP or ACP).

Step

Manage negotiations (see Managing Negotiations Guidance Notes)

Responsible Party

Template/Guideline

Guidance Notes on Managing Negotiations

Explanatory Notes

1	Step Formalizing via MoU (optional)	Responsible Party	Template/Guideline Memorandum of Understanding (MoU) and Statement of Intent (SoI)	Explanatory Notes An MoU captures areas of intended collaboration towards a common goal, when such commitments does not include any transfer of resources between the partners, or make any financial demands on UNDP.
2	Step Formalizing via financing agreement	Responsible Party RR focal points, and Directors of initiating business unit	Template/Guideline Financing Agreements and Templates Foundations’ partner specific agreements	Explanatory Notes Collaboration which involves formalization via a financing agreement must always be done in the context of UNDP's Programme and Project Management policies and procedures; please see Financing Agreements and Templates. If the financing agreement's text deviates from the standard, approval should be sought from the Office of Legal Services (OLS), Bureau for Management Services (BMS). Any deviation from the standard templates must be reviewed before signature by the Director of the Office of Legal Services (OLS/BMS).
3	Step Tax Status: As an international organization, UNDP does not possess these documents. However, as a subsidiary organ of the United Nations, UNDP’s tax-exempt status is derived from the Convention on the Privileges and Immunities of the United Nations.	Responsible Party	Template/Guideline	Explanatory Notes Information regarding UNDP’s tax status is usually requested by foundations based in the United States. Those foundations will ask for the submission of a Tax-Exempt Statement in the form of an IRS Section 501(c)(3) Status Determination letter/statement. The following sample text can be submitted to U.S.-based foundations in place of the IRS determination letter: "UNDP, as a subsidiary organ of the United Nations, is immune from taxation based on the Convention on the Privileges and Immunities Act of the United Nations, to which the United States Government acceded on 29 April 1970, 21 U.S.T. 1418, [1970], T.I.A.S. No. 6900. The United Nations, including UNDP, is also exempt from taxation pursuant to the International Organizations Immunities Act (IOIA). Pub. L. No. 79-291, 59 Stat. 669 (codified at 22 USC 288 et seq.). For the purposes of this Act, the President of the United States designated the United Nations as an international organization, Executive Order No. 9698, 11 Fed. Ref. 1809 (1946)."
4	Step Financial information:	Responsible Party	Template/Guideline	Explanatory Notes Some foundations may request financial documentation, such as an organization's budgets and financial statements, which is included into the project proposal as appendixes. UNDP bi-annual support budget and the annual financial report to the Executive Board are available on the Executive Board website. UNDP bi-annual financial report and audited financial statements of the Board of Auditors is available on the UN General Assembly website.
5	Step Pre-approved Status provision to accompany the Financing Agreement	Responsible Party	Template/Guideline	Explanatory Notes "UNDP confirms that it is a subsidiary organ of the United Nations, which is an international organization designated by Executive Order 9698 of the United States International Organizations Immunities Act, 22 USC 288. You agree to advise us immediately if there is any change in your organization’s status during the term of this grant". Always ensure that this provision is included without any deviations. In case of deviations, please seek clearance from the UNDP legal office.

Step

Submitting a letter of inquiry

Responsible Party

Template/Guideline

Explanatory Notes

This is the most common method preferred by foundations and can sometimes be accompanied by a project submission.

Many foundations accept letters of inquiry on an ongoing basis while others set specific submission deadlines.

Step

Submitting project proposal - foundations often invite organizations to submit proposals following a successful review of a letter of inquiry

Responsible Party

Template/Guideline

Explanatory Notes

A direct request for proposal may also occur in instances where a foundation is initially approached informally and, upon expressing interest regarding a proposed project idea.

Step

Informal approaches – in cases where there is significant partnership potential and foundations only support pre-selected organizations

Responsible Party

RR focal points, and Directors of initiating business unit

Template/Guideline

Explanatory Notes

Informal approaches and efforts to establish and maintain good rapport, can often open doors to the possibility for future collaborations with a foundation.

Step

Analysing potential partners

Responsible Party

Template/Guideline

Explanatory Notes

Conduct research on "legitimacy" of the foundation to confirm their basic purposes, including scanning of programmatic activities; board membership and individuals/entities affiliated with the foundation; previous grant-making; and tax and other financial information (if available). Information may be available in international/national foundations registers, websites of the foundations, news published by media, watchdogs, etc.

For additional information please refer to the intranet guidance in BERA/Public Partnerships Group.

Step

Due-diligence review of cases for foundations that have controversial profiles, or are linked to corporations whose business practices are inconsistent with the ideals of the United Nations

Responsible Party

The case should be discussed by members of an ad hoc local Committee,

Initiating Business Unit

Template/Guideline

Self Certification Form for Donor Entities

Self-Certification Form for Donor Individuals

Private Sector Risk Assessment Tool

Explanatory Notes

Members of the Committee should include relevant CO staff and relevant strategic UNDP local partners (e.g. representatives of Government/CSO.

The Self Certification Form for Donor Entities and the Self-Certification Form for Donor Individuals are relevant for in-scope donors. In-scope donors refer to private companies/foundations/private individuals acting as donors, in the context of the Anti-Money Laundering and Countering the Financing of Terrorism Policy which is supplemented by the Operational Guide for the Implementation of the UNDP Anti-Money Laundering and Countering the Financing of Terrorism Policy (AML/CFT Policy). The Operational Guide provides detailed procedures and guidance for the implementation of the policy across UNDP and specifies roles and responsibilities in the vetting process, including escalation procedures and available corporate tools. The Private Sector Risk Assessment Tool template contains the practical steps to be followed to reach a decision on a given partnership with corporate foundations and business associations, coalitions and alliance.

Step

Due-diligence review for corporate foundations

Responsible Party

Template/Guideline

Explanatory Notes

Corporate foundations should be in line with the guidelines for conducting private sector due-diligence.

Step

Sign Pro-bono agreement

Responsible Party

RR,Regional Bureau Director

Template/Guideline

Templates

For additional guidance, please visit the PSRM Toolkit

PSRM Toolkit

Explanatory Notes

1) Pro-bono agreements receives goods and/or services in accordance with the UN SG Bulletin on Acceptance of pro-bono goods and services (2006), complemented by UNDP policies.

2) The comprehensive template has the option to formalize a partnership for both Pro-bono (goods and services), and financial contributions.

a) RR signs national agreements with national entities or national branch of multinational entities.

b) RBx Director signs regional agreements with region entities or regional branch of a multinational entity.

3) When a private sector entity approaches UNDP with an unsolicited offer of pro bono contribution of goods or services, it is necessary, in addition to the risk assessment of the private sector entity itself, to take special care to ensure that this is the most cost effective way to achieve a particular objective. If it is not clear that there is a unique feature to the offer being made, then it is essential to undertake a thorough mapping and scoping exercise to research comparable alternatives and to:

a. approach a wide range of similar companies in order to ascertain that there are no better offers available;

b. provide evidence that the pro bono services or goods are fit for purpose and offer best value by obtaining complete specifications of donated goods, including quality standards;

c. define the necessary quality checks to be conducted depending on the nature of the donation;

d. have a documented process of peer review of options;

e. Conduct an analysis as to whether the contribution may lead to a ‘future standardization whereby a specific good/service limits UNDP future choice and imposes unexpected costs. In particular, the analysis must show that there will be no dependency that can incur future costs;

f. Provide no unfair advantage.

Step

Prepare a Financing Agreement

Responsible Party

Template/Guideline

Financing Agreements and Templates

Explanatory Notes

Please see Financing Agreements and Templates and the Standard Provisions of a Financing Agreement with legal guidance on frequently asked questions.

Step

If deviates from the standard template request for legal clearance

Responsible Party

Template/Guideline

Explanatory Notes

Bureau of Management Services, Office of Legal Services

Step

Sign Financing Agreement

Responsible Party

Template/Guideline

Explanatory Notes

RR to sign national agreements with national entities or national branch of multinational entities.
RBx Director to sign regional agreements with region entities or regional branch of a multinational entity

Step

Draft Memorandum of Understanding (MOU)

Responsible Party

Programme/project manager of the unit initiating the partnership

Template/Guideline

MOU Templates

Explanatory Notes

An MoU sets a framework for partnerships with no transfer of resources between partners.

Guidance on MOUs.

Step

If deviates from the standard template (MOU), request for legal clearance

Responsible Party

Template/Guideline

Explanatory Notes

Bureau of Management Services, Legal Office

Step

Sign MOU

Responsible Party

RR for CO, Regional Director for RBx

Template/Guideline

Explanatory Notes

RR – for country level agreements with national entities or national branch of multinational entities.
RBx Director for regional agreements with region entities or regional branch of a multinational entity.
Administrator, Associate Administrator or Central Bureau Directors for corporate or global partnerships.

Step

Upload signed MOUs

Responsible Party

Programme/project manager of the unit initiating the partnership

Template/Guideline

Non-Financial Agreements Library

Explanatory Notes

All MoUs should be uploaded in the partnerships Unity Agreements module which is the central UNDP Non-Financial Agreements Repository.

Step

Conduct due diligence and complete the mandatory Risk Assessment Tool (RAT)

Responsible Party

Template/Guideline

Private Sector Risk Assessment Tool

Explanatory Notes

The Business Unit Initiating the partnership, conducts analysis, completes the RAT and makes a recommendation to engage or refrain from engaging. Refer to Private Sector Resource Mobilization for additional information.

Step

Develop risk log, monitoring plan and communications material

Responsible Party

Initiating Business Unit – Project/Programme Manager

Template/Guideline

Risk Management

Explanatory Notes

Document the identified risks into a risk log. If the partnership is part of a project that already has a risk log, these risks can be added into the existing mechanism. In low-risk and short-term partnerships the project manager may decide that a risk log is not needed.
Monitoring activities to screen publicly available information relating to the partner and the industry as well as assessing whether the partner is meeting the conditions (if any) of the partnership.
The communications materials covers the basic details about the partnership and should address the main risks identified during the risk assessment process

Step

Decision making

Responsible Party

For Low-Risk: RR for CO level partnerships; relevant Bureau Director for regional and global level partnerships,

For Moderate/Substantial Risk: Relevant Bureau Director for CO, regional and global level partnership,

For High-Risk: Corporate Risk Committee

Template/Guideline

Explanatory Notes

For moderate, substantial and high risk cases the CO, Regional or HQ PSDD Committee provides quality assurance and advisory support to the relevant decision maker.

See HQ Private Sector Due Diligence Committee Archives.

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

Step

Upload signed Risk Assessment Tool

Responsible Party

Initiating Business Unit – Project/Programme Manager

Template/Guideline

Explanatory Notes

Upload completed and signed Risk Assessment tool in the Private Sector Due Diligence Data base

Step

Monitoring the partnership, managing risks, reporting

Responsible Party

Initiating Business Unit – Project/Programme Manager

Template/Guideline

Explanatory Notes

Initiating business unit conducts monitoring on a regular basis.

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

Step

Spot-check

Responsible Party

The relevant Regional Bureau for Due Diligence conducted by Country Office,

BPPS Effectiveness Group will organize independent assessment for Due Diligence conducted by Regional and Central Bureaus

Template/Guideline

Explanatory Notes

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

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Policy Areas

Hardship Allowance

Step

Responsible Party

Template/Guideline

Explanatory Notes

Mobility Incentive

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Pre-Award Negotiations

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Formalizing partnerships with foundations

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Options for approaching potential foundation partners

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Identifying and analyzing foundations for partnerships with UNDP

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step